Richard Dunstan serves as a Senior Analyst in Regulatory and Client Response at Cetera Financial Group, where he plays a pivotal role in navigating the complex landscape of regulatory compliance and client relations. With a robust background in asset management and investment advisory, Richard is...
Richard Dunstan serves as a Senior Analyst in Regulatory and Client Response at Cetera Financial Group, where he plays a pivotal role in navigating the complex landscape of regulatory compliance and client relations. With a robust background in asset management and investment advisory, Richard is adept at resolving retail customer complaints and addressing regulatory inquiries with precision and professionalism. His expertise in anti-money laundering (AML) practices, licensing, and risk management equips him to conduct thorough assessments of processes, ensuring adherence to industry regulations.
At Cetera, Richard is involved in key projects that focus on enhancing internal procedures and fostering a culture of compliance. He excels in detailed research and the creation of procedural documentation, which not only streamlines operations but also fortifies the organization’s commitment to regulatory standards. His role requires frequent interaction with regulators, where he effectively communicates the firm’s compliance strategies and advocates for client interests. Richard’s ability to train and coach staff on compliance matters ensures that the entire team is equipped to handle regulatory challenges proactively.
In addition to his technical skills, including proficiency in Microsoft Office and Excel, Richard holds a Series 63 license, which further underscores his commitment to maintaining high standards in client advisory services. His comprehensive understanding of exchange-traded funds (ETFs) and asset allocation strategies allows him to provide informed responses to inquiries, enhancing client trust and satisfaction. Richard Dunstan’s multifaceted expertise not only contributes to Cetera Financial Group’s regulatory compliance but also strengthens its reputation as a client-centric organization in the financial services industry.
